- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... will help unlock your potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which is a part… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD) Team in managing and delivering employee ... enhancing program effectiveness, mentoring team members, and promoting a culture of compliance and accountability. Success in this role will be measured by… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Charlotte, NC)
- Wells Fargo is seeking a Lead Market Risk Officer for the Trade Product Stress Team (TPST) within Market & Counterparty Risk Management. TPST oversees regulatory and ... Populate and submit the FR Y-14Q Schedule L Counterparty schedule in compliance with regulatory requirements, while conducting analysis to identify trends, explain… more
- Wells Fargo (Charlotte, NC)
- …management. CIB Markets models cover all asset types: Asset back securities (CMBS and ABS), Commodity, Counterparty Valuation Adjustment (CVA)s, Credit, Equity, ... and risk management purposes. **About the Role:** Wells Fargo is seeking Model Risk Officer for the areas of Counterparty Credit Risk that covers both CIB CVA models… more
- Wells Fargo (Charlotte, NC)
- …Controls and COO teams as well as other support functions (eg, Compliance , Testing, Audit, Risk, Operations, Technology, Legal, and Human Resources). Their goal ... framework in supervision coverage, and the program is in compliance with applicable rules, regulations, and industry best practices....subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Bank of America (Charlotte, NC)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... Rate Risk framework, the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging activities performed by… more
- Truist (Charlotte, NC)
- …**Please review the following job description:** Effectively manage overall operational and compliance risk related to SEC and Climate reporting for Truist. Ensure ... distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC)… more
- Ralliant (Raleigh, NC)
- …practices, including charters, policies, and insider trading programs. + Ensure compliance with NYSE listing standards, securities regulations, and disclosure ... Governance, this role will serve as a strategic partner on public company compliance , corporate governance, M&A, and financing activity. This is a high-impact role… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more